1. Protocol 4.1 Main changes (compared to Protocol 4.0)

2. Hooray! A new protocol! Main changes: 1.New terminology for annual audit 2.New Small Volume Operator (SVO) rules 3.Member/ CB procedure for complaints 4.Max. no of farms changed from 8 to 6 per day per auditor 5.New ChoC audit intensity rule - for MB only 6.New criteria for ChoC audit sample 7.New ChoC audit frequency rule 8.Annex 1: Certification option for outgrowers - for coffee, tea, rooibos only Protocol 4.1 - Mandatory from 1st of January, 2016 Important: For a detailed overview of all changes, please see the UTZ website.

3. 1. New terminology for annual audit Now refered to as “Certification audit”, to facilitate for the 3 years validity period of ChoC certificates/ licenses (see new ChoC audit frequency rule).

4. 2. New Small Volume Operator (SVO) rules New definition Now also for multi-sites Now also for multi-sites

5. 3. Member/ CB procedure for complaints CB must have complaints proc. Clear timeline Revised Grievance Procedure Link to UTZ Grievance ProcedureGrievance Procedure Member submits complaint to CB first

6. 4. Max. no of farms per day per auditor For group and multi-group certification: Maximum of 6 farms (instead of 8) per day per auditor (expected to be fewer in most cases) If CB wishes to audit more than 6 farms per day per auditor, the S&C department should be contacted prior to the audit (see chapter 1.6 CB Support)

7. 5. New ChoC audit intensity rule –> for MB ChoC only Applicable to MB multi-site ChoC audits only (e.g cocoa and hazelnut ChoC audits) Applicable to MB multi-site ChoC audits only (e.g cocoa and hazelnut ChoC audits) Audit site remotely from the central location (e.g. HO), if 2 criteria are met: -Central admin. at central location -Compliant with ChoC CP 19 Audit site remotely from the central location (e.g. HO), if 2 criteria are met: -Central admin. at central location -Compliant with ChoC CP 19 If a multi-site member operates uniquely at MB level and meets the criteria as described in chapter 2.5, the SCA can request the CB to audit the sites of the audit sample remotely from the central location.

8. 6. New criteria for ChoC audit sample How to decide which sites to include in the sample? At least the sites that received non- conformities during the previous audit are included in the audit sample. If this is not applicable, the CB ensures that different sites are audited in each audit cycle (for IP/SG -physically, for MB - remotely, if criteria are met). Example: 2 sites + 1 central location =>  (2+1) =  3 = 2 sites to be audit (sq. root is rounded up). In this audit sample of 2 sites, at least the central location should be audited, plus one other site. Central location (instead of head office)

9. 7. New ChoC audit frequency rule Starting 1st of January 2016 -> all Choc members receive audit in 2016 To reward good performance of SCAs, and to put our UTZ focuss on CoC audits/ field, where we can add most value. New members (registered, but not UTZ certified): If passing*, certificate/ license for 1 year. For the subsequent audit, member follows below (“UTZ certified member”) UTZ certified members (already UTZ certified):  Pass with 0 - 2 non-conformities * -> certificate/ license for 2 years -> Next audit = two years later. If again 0 - 2 non-conformities -> certificate/ license for 3 years.  Pass with 3 or more non-conformities * -> certificate/ license for 1 year -> Next audit = next year. Cycle as above repeats -> first 2 years, then 3 years * Assuming all NCs are closed.

10. 8. Certification option for outgrowers For coffee, tea, rooibos only 1 license/ certificate, combining individual with group Definition of outgrowers Responsible for IMS Grace period if >5%

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